Tuesday, November 08. 2022
SEC Proposes Changes to Open-End Fund Liquidity Risk Management and Swing Pricing
On November 2nd, the SEC proposed amendments designed to better prepare open-end funds for stressed market conditions and to mitigate potential dilution of shareholders’ interests. These changes should enhance how funds manage their liquidity risks by requiring them to implement liquidity management tools and ensure timely reporting of fund information on Form N-PORT.
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SEC Updates PAUSE List
The SEC has updated its list of unregistered entities that use misleading information to solicit investors. The Public Alert: Unregistered Soliciting Entities (PAUSE) list now has an additional 35 soliciting entities, four impersonators of genuine firms, and four bogus regulators.
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